Overview
Each year, FINRA provides firms with the information they may need to include in their compliance programs. This compliance course will provide an overview of the rules and obligations of firm operations that cover:
- firm short positions and fails to receive in municipal securities
- trusted contacts and positions of trust
Learning Objectives
Upon completing this course, you should understand compliance obligations regarding:
- firm short positions and fails to receive in municipal securities
- trusted contacts
Designed For
This course is designed for Registered Representatives
Find this course for your license:
License or Certification
Regulator
Type